For the Public
FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.
For Industry Professionals
Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.
For Member Firms
Firm compliance professionals can access filings and requests, run reports and submit support tickets.
FINRA experienced an issue this morning with the processing of OTC Transparency Data, (for both ATS and Non-ATS data sets) in OTCE securities for the week of December 30, 2019. The issue has now been resolved and all files and data have been published.
If you have any questions, please contact ATS Support.
FINRA is experiencing an issue with the processing of OTC Transparency Data (for both ATS and Non-ATS data sets) in OTCE securities for the week of December 30, 2019. FINRA will update users when this issue has been resolved.
If you have any questions, please contact ATS Support.
Effective February 18, 2020, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will increase from its current rate of $20.70 per million dollars in transactions to a new rate of $22.10 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-6637.
Legal and interpretive questions should be directed to:
On January 14, 2020, FINRA issued a Technical Notice regarding the 100 record limit for the FINRA API Platform, which provides access to FINRA’s OTC Transparency Data. As stated in that Notice, on January 15, 2020, FINRA temporarily increased the limit to 100,000 records to accommodate firms’ API implementations.
Beginning April 6, 2020, FINRA will enforce new API record and payload size limits of 5,000 records and 3MB respectively, whichever is reached first.